1. Leaders in Integrated RIA Business Operations
APA provides Investment Advisory Services to IAR’s, CPA’s and Community Banks. IA Services are
intentionally segregated from your core operations to eliminate crossover compliance issues. APA
delivers “Best in Class” resources for the ultimate turnkey branded platform.
1. Compliance –APA maintains all of your Compliance requirements so you don’t have to think
about it.
• ADV Submission & Maintenance, ADV Form Part 2B, State Notice Filings
• Client Brochures, Client Agreements, Code of Ethics, Privacy Policies
• SEC Audits, Books and Records, Policies and Procedures, Disaster Preparedness
• Marketing Reviews, Social Media Surveillance, Document Archiving
2. Custodian Support – Hold your clients assets at any custodian(s) you like. APA has existing
relationships with Fidelity, Schwab, TDA, MMS, IB, Scottrade and others. We introduce you
to a “Friendly B/D” for commission business (APA does not share in your commission
business).
3. Business Management System (SaaS) including:
• APA Advisor View: Dynamic Performance Reporting, Account Aggregation, Branded
Client Web-Portal, Fee Processing/Billing Statements
• APA Advisor Rebalancing: Trade Processing, and Model Portfolio Rebalancing
• Rebal automatically routes trades to multiple custodians in one single
rebalancing.
• APA Advisor CRM: Fully integrated including Automated Workflows, Document
Management, Financial Planning, Account Aggregation, and so much more.
• Truly Paperless: LasorApp> eSig> Secure Email> LasorFiche
• APA Envestnet SMA: (optional) Integrated SMA Investment Solutions. Open
architecture platform encompasses a broad range of institutional-quality
research, investment products and advisory services.
4. Administrative Support – APA offers assistance in technology training, data entry and hardware
set-up support. Our full time Support Team helps integrate the technology you need to run on
your business model from day one. Naturally, with our cloud based technology, (including
mobile apps) you are only a key-stroke away from all your client data.
5. Errors & Omissions Insurance – E&O is included in your Platform Services Fee. (2M per, 5M
cap)
APA: Built by Advisors for Advisors and Their Clients
1201 Camino Del Mar, Del Mar, CA 92014

2. 6. Visionary Cloud Infrastructure – All of APAs technology is Cloud-Based:
• Business Management System (SaaS)
• Paperless Everything: Billing, Performance Reporting, Account Doc’s, LOA’s, etc.
• CRM Integrated doc storage fromLaserFiche (conversion services available)
• Branded eMail, eFax & Social Media with archiving
7. Fee Illustration --
• Example based on $600mln in AUM @ 1% w/ 6 IARs
• Gross: 6,000,000
• Annual PSF* <144,000>
• Pre-Split Net 5,856,000
• 90% Payout** 1mln 900,000
• 95% Payout 5mln 4,750,000
• Net Net 5,650,000 = 94.1%
• No Nickel and Dime
• Your only out of pocket expenses are office space and staff.
* Platform Service Fee + $2k/mo/IAR
**payout break points: 90% from 0-1mln, 95% from 1mln+
8. APA Profit Sharing – We pay it forward. For every $1 million in production (or pro-rated fraction
thereof) we share 3% of APA profits with you. You may opt for converting your P/S distribution
to APA stock and receive an additional share bonus for early conversion.
9. Business Building – For every new Advisor relationship you introduce to APA (Advisor must stay
with APA for at least one year) we reimburse your PSF in accordance with the size of the
relationship.
10. Succession/Contingency/Continuity Planning – Helping you convert your practice to a
business. This is the biggest difference between being Captive and Independent, why give your
equity to someone else when you can convert it yourself for 7-9 times revenue?
11. Gain from Our Perspective –
• Our values are totally aligned with yours.
• We are built by Advisors, for Advisors and your clients.
• Our Business Management Systems streamlines and automates your business.
• The APA Team is committed to you!
• APA saves you time and money so you can focus on building your business.
APA: Built by Advisors for Advisors and Their Clients
1201 Camino Del Mar, Del Mar, CA 92014